Head of Risk and Compliance – Bristol
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An exciting opportunity for an experienced Risk and Compliance Manager to head up our established compliance function.
Role: Head of Risk and Compliance
Hours: Full time
Vacancy Reference: 255-BBL
- Provide support and assistance as required to the firm’s COLP and COFA
- Audit, Risk and Compliance Committee: organise, prepare agendas for, attend and minute all meetings – follow up on actions
- Review and develop the firm’s risk register and present for periodic review to the ARCC
- Information security management. Assist the Head of Information Security as necessary to achieve ISO 27001 and sit on the internal Information Security Management Forum.
- Data protection. Assist the Data Protection Officer as necessary in implementation of firm’s DP policies and monitoring compliance as required for the SRA Code of Conduct (“the Code”) and EU GDPR.
- Business Continuity Plan. Emergency Team leader under the plan. Responsibility for review and revision of the firm’s BCP. Arrange and organise monthly Gold team meetings and follow up. Advise and make recommendations to the ARCC and the MD group in relation to BCP generally.
- Maintain and acquire where necessary high level technical expertise in relation to the regulatory regime applicable to legal practices, in particular the SRA Code of Conduct and more generally a working knowledge of the SRA Handbook.
- SRA Accounts Rules. Support COFA in ensuring compliance with monitoring obligations contained in the Code that are the responsibility of the COFA. With the assistance of the risk assistant and the internal audit team, develop systems to ensure the Compliance Plan and supporting information is fully populated to demonstrate compliance. Maintain and acquire where necessary working knowledge of the SRA
- Working with the COLP and the COFA to keep under review the firm’s policies and procedures for
compliance with the Code.
- Supporting the firm’s Complaints partner in investigating and responding to complaints. Maintain and acquire where necessary high level technical expertise in relation to handling complaints.
- Supporting the firm’s COLP in relation to Professional Indemnity Claims and renewal of indemnity
insurance. Maintain high level technical expertise in professional negligence law and procedure.
- Supporting the partner responsible for the firm’s health and safety policy; anti money laundering
processes and anti bribery and corruption legislation
- Support in development of firm’s insurance mediation policy and procedures.
- With the Director of Best Practice, ensure that the firm maintains best practice in practice management in line with Lexcel standards. Responsibility for managing the firm’s Lexcel accreditation, including firm wide with the file review policy, arranging inspection visits and planning all actions required to ensure continued accreditation.
- Overseeing the compliance reviews system and practice and in particular issues relating to client retainersand the Global Appointment Letter Project
- Liaison as necessary with the Facilities Management team to ensure management and negotiation of the firm’s general insurance policies including Employers & Public Liability and administration of the firm’s fleet of pool cars including any insurance issues
- Administer annual accreditation of ISO14001 and audit Facilities Management documents evidencing
- Administer annual audit of outsourced suppliers for anti slavery purposes and update anti slavery policy on external website
- Support the Business Development team in responding to tenders and panel applications – including
review of terms and conditions as to suitability and level of risk
- Attend and submit a report to the firm’s monthly MD Group meetings
- Manage the Risk team on a day-to-day basis. This will involve recruitment and selection, performance reviews, disciplinary action, managing staffing levels within the team and training, seeking the support of HR as appropriate
- Drive forward new projects and initiatives. Maintain high level awareness of risk and compliance issues for the legal profession to inform such projects and initiatives.
- Continuously promote the highest levels of compliance to the partners and staff across the business
including delivery of training
- Raise the profile of the role and the risk team internally and externally, being visible and approachable to all members of staff
- Participate in professional groups and networks, in particular the Bristol Risk Management Group
You will, ideally, have at least 3 years previous experience of working in a risk and compliance managerial role within a law firm. However, if you have experience from financial services or another professional services firm, and have a genuine interest to work in the legal sector then we would very much like to hear from you. This is also a role that would suit an experienced solicitor who is looking for a career change and to move away from a fee earning / client facing role.
You will have a robust, meticulous approach to ensuring compliance, combined with a diplomatic, professional and collaborative manner.
A flexible approach and confidence liaising with colleagues across the firm at all levels is essential.
If you would like to apply for this vacancy, please send us your CV, together with a covering email/letter using the button below:
(If you have any difficulties with the link, you can email your application to us at firstname.lastname@example.org)